Market Supervisory Board by managing an advertisement of foreign mutual fund in the inappropriate manner of content, proportion of content and form of presentation in order that a client would be able to
Market Supervisory Board. Mrs. Phenchan later filed the reports (Form 59-2) to the SEC Office on December 27, 2019. SEC Act S.59 Settlement Committee Meeting No. 1/2020 Settlement Committee Order No. 3
, failed to comply with the rules, conditions, and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective fund management
Supervisory Board No. TorThor. 39/2555 within 3 months as from the date on the date of removal. SEC Act S.113 Settlement Committee Meeting No. 3/2020 Settlement Committee Order No. 15/2020 Dated 20/05/2020
notification of the Capital Market Supervisory Board by calculating net capital in accordance with Form Bor. Lor. 4/1 incorrectly in the amount of 7 cases. SEC Act S.97 Settlement Committee Meeting No. 1/2020
notification of the Capital Market Supervisory Board by failing to prepare and file the report of net capital calculation within the specified period. SEC Act S.109 paragraph 1 Settlement Committee Meeting No
and submit the reviewed financial statements for Q1/2017 within the period specified by the Capital Market Supervisory Board. SEC Act S.300 in conjunction with 56(1) Settlement Committee Meeting No
, failed to comply with the rules, conditions, and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective compliance system
2017 to the SEC Office and the Stock Exchange of Thailand within February 28, 2018 as specified by the notification of the Capital Market Supervisory Board. The audited financial statements were later
2017 (Form 56-1, 2017) to the SEC Office and the Stock Exchange of Thailand within April 2, 2018 as specified by the notification of the Capital Market Supervisory Board. The annual statement was later